![InvestorCOM Inc.](/img/default-banner.jpg)
- 86
- 11 857
InvestorCOM Inc.
United States
Приєднався 22 вер 2011
InvestorCOM is a leading provider of regulatory compliance software and communications solutions for wealth managers, asset managers, insurers.
Our innovative suite of FinTech solutions were developed in response to increasing regulation and the demand for more effective communication and disclosure from the financial services industry.
For more than 20 years, InvestorCOM has been providing compliance pain relief for global wealth managers.
Our innovative suite of FinTech solutions were developed in response to increasing regulation and the demand for more effective communication and disclosure from the financial services industry.
For more than 20 years, InvestorCOM has been providing compliance pain relief for global wealth managers.
On-Demand Webinar: DOL Fiduciary Rule Mania - Navigating Uncertainty
With consecutive court rulings putting a hold on the Department of Labor’s (DOL) Retirement Security rule, wealth industry professionals find themselves facing a period of uncertainty.
While the rule was broadly aligned with the requirements of Regulation Best Interest (Reg BI), the Advisers Act of 1940, along with PTE 2020-02, many wealth advisers face key decisions surrounding the evolution of their compliance programs.
This webinar features industry leaders from Faegre Drinker, Alphastar Capital Management and Confluence provide an insightful dialogue on:
- DOL’s policies that still remain valid for wealth industry professionals.
- Best practices in ensuring wealth advisers remain compliant, despite regulatory uncertainty.
- Exploring industry leadership opportunities amidst the period of uncertainty.
While the rule was broadly aligned with the requirements of Regulation Best Interest (Reg BI), the Advisers Act of 1940, along with PTE 2020-02, many wealth advisers face key decisions surrounding the evolution of their compliance programs.
This webinar features industry leaders from Faegre Drinker, Alphastar Capital Management and Confluence provide an insightful dialogue on:
- DOL’s policies that still remain valid for wealth industry professionals.
- Best practices in ensuring wealth advisers remain compliant, despite regulatory uncertainty.
- Exploring industry leadership opportunities amidst the period of uncertainty.
Переглядів: 29
Відео
On-Demand Webinar: DOL Fiduciary Rule - Practical Implications
Переглядів 75Місяць тому
The Department of Labor (DOL) has released its latest fiduciary rule, signaling significant strategic implications for firms across the financial sector. As firms navigate this new regulatory landscape, understanding the rule’s nuances and operational impacts is crucial. This webinar focuses on the revisions to PTE 2020-02 and how firms can align with the new version by the September deadline w...
Navigating CIRO Exam Priorities and Focus Areas
Переглядів 1414 місяці тому
On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) revealed its exam priorities for the year. These priorities shed light on the focus areas for upcoming exams across all dealers, particularly emphasizing the second phase of the client-focused reforms (CFRs). In collaboration with the Canadian Securities Administrators, CIRO’s examinations will delve into registrants’ com...
Reg BI Case Studies: Assessing Reasonably Available Alternatives
Переглядів 784 місяці тому
FINRA and the SEC have underscored their focus on firms’ adherence to Regulation Best Interest (Reg BI), with an emphasis on the care obligation that requires firms to evaluate reasonably available alternatives (RAA). Facing more intense scrutiny than ever before, firms must evaluate their compliance processes when it comes to the care obligation. Join InvestorCOM for an enlightening discussion...
Introducing AccountCompare
Переглядів 2045 місяців тому
Make account type recommendations that are in your client’s best interest. AccountCompare offers a step-by-step process that eliminates complexities when making advisory and brokerage account recommendations. Regulation Best Interest requires that dually registered individuals consider different types of accounts and different types of account features, products and services when making best in...
DOL & SEC's Best Interest Principles: A Gateway to Growth in 2024
Переглядів 1346 місяців тому
With the DOL’s Fiduciary proposal comment period behind us, many are assessing how the proposal, which includes new definition of fiduciary and changes prohibited transaction exemptions for rollovers (PTE 2020-02), and PTE 84-24 will impact their business model. The proposed changes present not only challenges but also substantial opportunities for forward-thinking firms. The DOL Fiduciary and ...
How do you document the analysis of Reasonably Available Alternatives
Переглядів 217 місяців тому
One of the most important questions surrounding adopting Reg BI's requirements has been the documentation of Reasonably Available Alternatives. Hear Dawn Thomason's framework and reasoning in this video.
Armin Sarabi - Why RolloverAnalyzer?
Переглядів 1958 місяців тому
"When I say right technology, I'm thinking about something that not only gets our needs met but is adaptable by the group that's out there. If we're going to implement a technology that's not welcomed by the field, then that's not going to work for us. So we always look for technology that allows some customization, that allows us to adapt the program, so that it's a seamless process from some ...
Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda
Переглядів 1958 місяців тому
The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear need for action for the 2024 year. Our foremost experts from Alphastar Capital, ...
On-Demand Webinar: Best Interest Principles: DOL Fiduciary Rule and SEC Guidance
Переглядів 3029 місяців тому
This webinar delves into how the DOL's proposed Retirement Security convergence of best interest principles across these regulatory bodies. Industry experts from Faegre Drinker, USA Financial and Oyster Consulting will discuss: * Reg BI and DOL’s best interest principles surrounding investment recommendations, and what it means for financial professionals, advisors, and investors. * Review of r...
Wealth Compliance Leaders with Nancy Mehrad, CEO and Founder of Registrant Law
Переглядів 4411 місяців тому
In today’s conversation, we met with Nancy Mehrad, CEO & Securities Lawyer of Registrant Law to review the CSA & CIRO’s examination findings regarding Conflicts of Interest as it relates to the Client Focused Reforms. She provides best practices and controls firms can implement to improve their compliance and what firms with proprietary products need to focus on. She also discusses what's next ...
Wealth Compliance Leaders with Ryan George, CMO at Docupace.
Переглядів 43Рік тому
Today we chat with Ryan George, Chief Marketing Officer at Docupace. At Docupace, Ryan is responsible for the company’s brand awareness, early-stage sales pipeline, content strategies, customer and industry insights, internal and external communications, design, and events. In this episode, we ask Ryan ... * As a veteran in the wealth management industry, you've worn many hats. What has that jo...
Wealth Compliance Leaders with Gary Davis Jr, Operations & Compliance Executive
Переглядів 100Рік тому
Today we talk with Gary Davis Jr, an accomplished operations and compliance executive with more than 25 years of experience helping clients with the ever-changing regulatory landscape. In this episode, we ask Gary ... * As a veteran in the regulatory and compliance industry, what has that journey been like, and what has he learned? * In just the past two years, there has been a lot of fairly ma...
Wealth Compliance Leaders with Ryan Smith, Partner at Practus, LLP
Переглядів 66Рік тому
In today’s conversation, we talk with Ryan Smith, Partner at Practus, LLP. Ryan helps broker-dealers, registered investment advisers and their associates spend more time growing their business by handling a wide range of legal and compliance responsibilities. This includes advising them on matters related to the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and SEC and FI...
Docupace-InvestorCOM Integration featuring Walk Thru by Jim Corbett COO at Wintrust Investments LLC
Переглядів 17Рік тому
Docupace-InvestorCOM Integration featuring Walk Thru by Jim Corbett COO at Wintrust Investments LLC
Meet your Regulatory Obligations with InvestorCOM RolloverAnalyzer
Переглядів 183Рік тому
Meet your Regulatory Obligations with InvestorCOM RolloverAnalyzer
Docupace-InvestorCOM Integration Demo June 2023 feat. Jim Corbett, COO at Wintrust Investments LLC
Переглядів 39Рік тому
Docupace-InvestorCOM Integration Demo June 2023 feat. Jim Corbett, COO at Wintrust Investments LLC
On-Demand Webinar: DOL’s Retrospective Review - A Practitioner’s Guide to Compliance
Переглядів 129Рік тому
On-Demand Webinar: DOL’s Retrospective Review - A Practitioner’s Guide to Compliance
Expert Insights: Should a Wealth Firm Buy Technology or Build In-House?
Переглядів 17Рік тому
Expert Insights: Should a Wealth Firm Buy Technology or Build In-House?
Wealth Compliance Leaders with Craig Iskowitz, Founder and CEO of Ezra Group LLC
Переглядів 36Рік тому
Wealth Compliance Leaders with Craig Iskowitz, Founder and CEO of Ezra Group LLC
Wealth Compliance Leaders with Naresh Tejpal, Managing Director, Capital Markets at the IIAC
Переглядів 47Рік тому
Wealth Compliance Leaders with Naresh Tejpal, Managing Director, Capital Markets at the IIAC
On-Demand Webinar: SEC Guidance on Reasonably Available Alternatives
Переглядів 199Рік тому
On-Demand Webinar: SEC Guidance on Reasonably Available Alternatives
Wealth Compliance Leaders with Jim Sommerfield, Senior Compliance Officer at Wintrust Wealth Mgmt
Переглядів 62Рік тому
Wealth Compliance Leaders with Jim Sommerfield, Senior Compliance Officer at Wintrust Wealth Mgmt
Wealth Compliance Leaders featuring Iqan Hainsworth Fadaei, Attorney at Michael Best & Friedrich LLP
Переглядів 31Рік тому
Wealth Compliance Leaders featuring Iqan Hainsworth Fadaei, Attorney at Michael Best & Friedrich LLP
Q&A Discussion: InvestorCOM Webinar - SEC and FINRA's Focus on Reg BI's Care Obligation
Переглядів 88Рік тому
Q&A Discussion: InvestorCOM Webinar - SEC and FINRA's Focus on Reg BI's Care Obligation
On-Demand Webinar: 2023 - SEC & FINRA's Focus on Reg BI's Care Obligation
Переглядів 291Рік тому
On-Demand Webinar: 2023 - SEC & FINRA's Focus on Reg BI's Care Obligation
On-Demand Webinar: The Challenge of Implementing and Adopting Compliance Technology
Переглядів 100Рік тому
On-Demand Webinar: The Challenge of Implementing and Adopting Compliance Technology
Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2
Переглядів 18Рік тому
Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2
Wealth Compliance Leaders featuring Andrea McGrew, Senior Counsel at Warner Norcross + Judd
Переглядів 53Рік тому
Wealth Compliance Leaders featuring Andrea McGrew, Senior Counsel at Warner Norcross Judd
Does Reg BI apply to transactions?
Awesome 💗
*promosm*